EFTA Document EFTA01420273

Sheetl Annual Client Update: ID Customer Number Customer Name Relationship Material Changes A15. Client Status Update Description COMMENTS 63943 00000483289 Epstein, Jeffrey SOUTHERN FINANCIAL RELATIONSHIP Jeffrey has not had any circumstantial changes Darren Indyke was added as POA to Jeffrey's accounts AML to Close - KYC Done ►01221773 Closed 62353 00000423154 Katzman, John KATZMAN, JOHN RELATIONSHIP Client is currently building out a new company called noodle.org N/A AML to Close - KYC Done #01296046 Closed 64586 00000235281 Dixon, Wesley M SEARLE FAMILY RELATIONSHIP See above. Client has passed away. Client has passed away - see above. This event was documented in KYC case #01251849 for the Estate of Wesley M. Dixon Jr. AML to Close - KYC Done #1251849 Closed 63419 00000487441 KASTEGE S.A. KASTEGE S.A.RELATIONSHIP Mr. Federico Lachner, and hi s son Karl are dedicated to construction, and engineering. Income derives from projects, and develpm ents. Mr. Karl Lachner informed that his father passed away last June. A certified copy of the Dea th Certificate will be sent next week. Expected by July 30, 2014. AML to Close - KYC Done #012 98469 Closed 53345 00000442394 Indigo Blue Finance Limited COMPANIA TECNOLOGIA RELATIONSHIP The Chulani family owns jewelry, perfumes, and electronic stores. Mr. Tikamdas Chulani is the register ed holder of 1,000 shares of the company. Mr. Chulani passed away. AML to Close - KYC Done #101 0703 Closed 53260 917 Northumbria Corporation BERNARDO BIRMANN RELATIONSHIP Bernardo is now vice-preside nt of Northumbria Corp, a PIC which holds several business ventures that are under a family trust wh ere he is the beneficiary. Per his lawyers , they are preparing the paperwork so he can be the joint owner along with the existing owner which is his grandmother. Once documents are received i will up date the KYC. Bernardo makes 250m usd in income from local investments. Bernardo Birmann is in the p rocess of joint owning Northumbria with his grandmother. The lawyers will provide me with the docume nts in the next couple of weeks . I will update the KYC accordingly. AML to Close - KYC Done #012 53754 Closed 60762 00000472983 Marco, LP THE BOSARGE FAMILY RELATIONSHIP currently invested in a dive rse fixed income protfolio and cash. adding & deleted signatories, David Houston should be remove d. Darla Tollefson, Tyson T Voelkel, Mark A Russell are being added. AML to Close - KYC Done #011 79732 Closed 63206 00000000156 Luksic, Guillermo LUKSIC, GUIL RELATIONSHIP Client is deceased Client is deceased. KYC 1129514 was already done to record his death from cancer. AML to Close - KYC Done #01129514 Closed 58406 00000464790 LBF Consulting Services B.C. LTD RAMIREZ RELATIONSHIP No material changes - consulting fees are relatively stable to last year's fees. One of the partners recently passed away - there is going to be changes to the sigantories in the account. The client has not ye t specified if a new sigantory is to be added. AML to Close - KYC Done #01292698 Not closed. 1292698 was for new loan, not changes in the signatories. 64539 00000440395 Ramirez Villalon, Eduardo Florentino RAMIREZ RELATIONSHIP family busin ess continues to expand specially into India. relationship is opening a new account in Hamburg for corporate needs. The account will hold aprox $80mm AML to Close - KYC Done #1292698 Clos ed 63940 00000483882 Southern Financial LLC SOUTHERN FINANCIAL RELATIONSHIP No other changes Darren Indyke was added as POA to the account AML to Close - KYC Done #01221773 Closed 64608 00000448096 The Stephen C. Schott 1984 Trust SCHOTT, STEPHEN C. RELATIONSHIP 10-2 1-2014: Client is investing $20MM in Private Equity fund, KKR and has already deposited the full amo unt. The client's income producing activities include rental income from an apartment building in Cu pertino, income from their 600MM+ investments primarily held in Bonds. The client is getting ready t o start a new project in Milpitas, CA and we may provide a loan, but this is in the beginning stages 10-21-2014: Client is investing $20MM in Private Equity fund, KKR and has already deposited the full amount. AML to Close - No Material Change Closed 62807 00000427067 Taylor, Lynda Benvenuti TAYLOR, LYNDA BENVENUTI RELATIONSHIP Real Estate Investments and securities transactions Client added approximately $13MM from Fidelity to IA account 451143. AML to Close - No Material Change Closed 64642 00000452327 Aquiline Financial Services Fund II, L.P. PRINCIPALS OF AQUILINE RELAT IONSHIP Fund's investment focus is financial service companies. Compliance Comment: 3/15/12 ACU is n ow auto exempt. N/A AML to Close - No material change Closed 64425 00000473862 Kingsley, Todd R. KINGSLEY RELATIONSHIP No changes. New Booking Center - Client is opening a mortgage. AML to Close - No Material Change Not closed/New booki ng center requires a KYC update EFTA01420273 EFTA01420274 EFTA01420275